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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Securities Commission Meeting

Notice Type: Meeting

Event Start Date & Time: March 21, 2019 09:00 AM

Event End Date & Time: March 21, 2019 12:00 PM

Description/Agenda:

Utah Securities Commission
March 21, 2019
9:00 A.M - 12:00 P.M., Room 451
Agenda 

Welcome & Call to Order

Tab 1: Approval of the January 24, 2019 Minutes

            Director's Report:  Tom Brady
            Section Reports:
1.	Enforcement:  Dave Hermansen
2.	Compliance:  Ken Barton
3.	Registration & Licensing:  Bryan Cowley

Tab 2: Education and Training Fund Report: Bryan Cowley

Tab 3: Grant Request:  Diversify

Consideration and Approval of Proposed Orders:
Tab 4:  Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula) 

Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean)

Hearing
Kenny Andam, SD-16-0034: evidentiary fine 
Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M)
Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)

Notice of Special Accommodations:

Compliant.

Notice of Electronic or telephone participation:

N/A

Other Information

This notice was posted on: January 04, 2019 08:49 AM
This notice was last edited on: March 20, 2019 11:49 AM
Deadline Date: March 18, 2019 01:00 AM

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